RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
R••••• L•• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 18, 2022 · Biloxi, Ms
- C••• B•••••••• S•••••••• I••• formerJun 3, 2014 to May 18, 2022 · Waverly, Ia
- L•• F•••••••• L•• BD affiliatedApr 20, 2011 to Jan 22, 2014 · Diamondhead, Ms
- E••••• J•••• national BDMar 6, 2007 to Apr 25, 2011 · Diamondhead, Ms
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 18, 2022, registered May 18, 2022 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••• B•••••••• S•••••••• I•••left Jan 22, 2014, registered Jun 3, 2014 (132 days) · Other
- E••••• J•••• to L•• F•••••••• L••left Apr 25, 2011, registered Apr 20, 2011 (-5 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address